Case Study – Developing an Investment Proposition

Client Background

An IFA looking after the financial affairs of individuals and families to help them achieve financial security. Ongoing service being central to business offering.

Business Issue

The business was concerned about FCA communications relating to attitude to risk, capacity for loss and centralised investment propositions. The firm understood what the FCA meant by poor and good practice. It clearly placed its client’s interests first. However, it recognised that in developing a unique proposition, there may be external challenge.

Challenge

Developing an Investment Proposition and documenting the logic behind the unique offering ensuring it stood up to scrutiny from both investment experts and regulators.

Solution

Complyport quickly identified the potential issues, providing investment and regulatory expertise. With support, the firm was able to document its investment beliefs. It built processes, documenting the rationale, for delivering advice and selecting investment options.

Business Benefit

The positive benefit was intellectual challenge to the basis of the unique service. This helped develop it further while ensuring regulatory standards were met. Confidence in the outcome after external challenge was key. By accessing advice on an hourly rate when needed, the firm could proceed at its own pace while limiting overall costs.

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